Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| W. V. Meiers & Company, Inc. CRD: 14438 | - | 0 | 0 | A | INACTIVE |
| W. Y. Campbell & Company CRD: 22688 | - | 0 | 0 | A | INACTIVE |
| W.A. Capital Markets CRD: 6292 | - | 31 | 0 | F | INACTIVE |
| W.A. Marx Company, Ltd. CRD: 18024 | - | 0 | 0 | A | INACTIVE |
| W.A. Rogers Securities, Inc. CRD: 11009 | - | 0 | 0 | A | INACTIVE |
| W.A. Smith Financial Group CRD: 146608 | - | 0 | 9 | - | Unknown |
| W.A. Wimberly & Associates, Inc. CRD: 127377 | - | 0 | 2 | - | Unknown |
| W.C. Smith & Company, Inc. CRD: 36865 | - | 0 | 0 | A | INACTIVE |
| W.D.R. Equity Resources, Inc. CRD: 14241 | - | 0 | 0 | A | INACTIVE |
| W.E. Donoghue & Co., Inc CRD: 106705 | - | 0 | 0 | - | Unknown |
| W.E. Nightingale & Co., Inc. CRD: 117014 | - | 0 | 0 | - | Unknown |
| W.E. Nightingale Brokerage Services, Inc. CRD: 39937 | - | 1 | 0 | B | INACTIVE |
| W.E.Z.INVESMENTS,LLC CRD: 282174 | - | 0 | 0 | - | Unknown |
| W.G. Nielsen & Co. CRD: 41093 | CO | 1 | 2 | B | Active |
| W.H. Colson & Associates, Inc. CRD: 117309 | - | 0 | 0 | - | Unknown |
| W.H. Farr & Company, Inc. CRD: 25810 | - | 0 | 0 | A | INACTIVE |
| W.H. Financial Services, Inc. CRD: 287703 | - | 0 | 1 | - | Unknown |
| W.H. Lewis Financial, LLC. CRD: 282122 | - | 0 | 1 | - | Unknown |
| W.H. Newbold's SON & Co., Inc. CRD: 7575 | - | 0 | 0 | A | INACTIVE |
| W.H. Trading, L.L.C. CRD: 45589 | - | 2 | 0 | B | INACTIVE |
| W.J. Askin & Co., Incorporated CRD: 23480 | - | 2 | 0 | B | INACTIVE |
| W.J. Blum & Sons, LLC CRD: 32970 | - | 1 | 0 | B | INACTIVE |
| W.J. Bonfanti, LLC CRD: 44998 | - | 0 | 0 | A | INACTIVE |
| W.J. Bradley Financial Services, LLC CRD: 115966 | - | 0 | 0 | A | INACTIVE |
| W.J. Christie International Planning Corp. CRD: 126522 | - | 0 | 0 | - | Unknown |
| W.J. Gallagher & Company, Inc. CRD: 11097 | - | 15 | 0 | D | INACTIVE |
| W.J. Maiden Assoc., Inc. CRD: 11397 | - | 0 | 0 | A | INACTIVE |
| W.J. Nolan & Company, Inc. CRD: 16465 | - | 11 | 0 | D | INACTIVE |
| W.J. Schade Financial Services, LLC CRD: 141958 | - | 0 | 0 | - | Unknown |
| W.J. Shaw & Company, Inc. CRD: 7356 | - | 0 | 0 | A | INACTIVE |
| W.K. Cooper II Asset Management Corporation CRD: 123610 | - | 0 | 2 | - | Unknown |
| W.L. Faith Investment Management, LLC CRD: 172720 | - | 0 | 0 | - | Unknown |
| W.L. Harris Advisory, LLC CRD: 286193 | - | 0 | 0 | - | Unknown |
| W.L. Tyrrell & Co. CRD: 32659 | - | 1 | 0 | B | INACTIVE |
| W.M. Baker Investments LLC CRD: 164490 | - | 0 | 1 | - | Unknown |
| W.P. Stewart & Co., LLC CRD: 105655 | - | 0 | 0 | - | Unknown |
| W.R. Borton Advisors LLC CRD: 287657 | - | 0 | 0 | - | Unknown |
| W.R. Hambrecht + Co., LLC CRD: 45040 | - | 13 | 0 | D | INACTIVE |
| W.R. Huff Asset Management Co., L.L.C. CRD: 107100 | - | 0 | 0 | - | Unknown |
| W.R. Huff CM, LLC CRD: 109046 | - | 0 | 0 | - | Unknown |
| W.R.T. Smith & Co. CRD: 107881 | - | 0 | 0 | - | Unknown |
| W.WALL and Company, Inc. CRD: 113075 | - | 0 | 0 | - | Unknown |
| W10 Investment Advisers, LLC CRD: 299479 | - | 0 | 0 | - | Unknown |
| W11 Capital Management, LLC CRD: 324022 | - | 0 | 1 | - | Unknown |
| W1M Investment Management Limited CRD: 112200 | - | 0 | 0 | - | Unknown |
| W1M Wealth Management Limited CRD: 132210 | - | 0 | 0 | - | Unknown |
| W3 Wealth Advisors, LLC CRD: 129549 | - | 0 | 8 | - | Unknown |
| Wabana Investments LLC CRD: 300132 | - | 0 | 0 | - | Unknown |
| Wabash Capital, Inc. CRD: 107932 | - | 0 | 4 | - | Unknown |
| Wabash Capital, L.L.C. CRD: 39672 | - | 0 | 0 | A | INACTIVE |